0001437749-21-020865.txt : 20210824 0001437749-21-020865.hdr.sgml : 20210824 20210824165136 ACCESSION NUMBER: 0001437749-21-020865 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210820 FILED AS OF DATE: 20210824 DATE AS OF CHANGE: 20210824 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mickle Travis C CENTRAL INDEX KEY: 0001638365 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36913 FILM NUMBER: 211202731 MAIL ADDRESS: STREET 1: 2656 CROSSPARK ROAD STREET 2: SUITE 100 CITY: CORALVILLE STATE: IA ZIP: 52241 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KEMPHARM, INC CENTRAL INDEX KEY: 0001434647 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 205894398 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1180 CELEBRATION BOULEVARD, SUITE 103 CITY: CELEBRATION STATE: FL ZIP: 34747 BUSINESS PHONE: (321) 939-3416 MAIL ADDRESS: STREET 1: 1180 CELEBRATION BOULEVARD, SUITE 103 CITY: CELEBRATION STATE: FL ZIP: 34747 FORMER COMPANY: FORMER CONFORMED NAME: KEMPHARM INC DATE OF NAME CHANGE: 20080507 4 1 rdgdoc.xml FORM 4 X0306 4 2021-08-20 0001434647 KEMPHARM, INC KMPH 0001638365 Mickle Travis C C/O KEMPHARM, INC. 1180 CELEBRATION BOULEVARD, SUITE 103 CELEBRATION FL 34747 1 1 President & CEO Common Stock 2021-08-24 4 J 0 96153 0 D 23354 D Common Stock 2021-08-24 4 J 0 96153 0 A 96153 I By Mickle Holdings LLC Common Stock 2021-08-24 4 J 0 7701 0 D 0 I By Travis C. Mickle & Christal M.M. Mickle TRS UA 4-30-09 Mickle Family Trust, co-trustee Common Stock 2021-08-24 4 J 0 7701 0 A 31055 D Common Stock 2021-08-24 4 J 0 1341 0 D 0 I By Travis C. Mickle & Christal M.M. Mickle TRS UA 4-30-09 TCM Family Trust, co-trustee Common Stock 2021-08-24 4 J 0 1341 0 A 32396 D Common Stock 2021-08-24 4 J 0 3125 0 D 29271 D Common Stock 2021-08-24 4 J 0 6287 0 D 0 D Common Stock 15242 I By Christal M.M. Mickle 2015 Gift Trust dtd 7/21/15, as trustee Common Stock 9824 I By Travis C. Mickle 2015 Dynasty Trust dtd 7/21/15, Christal M.M. Mickle as trustee Common Stock 1034 I By Mickle Investments LLC Stock Option (right to buy) 9.06 2021-08-20 4 A 0 263743 0 A 2031-08-19 Common Stock 263743 263743 D The Reporting Person is the sole manager member of Mickle Holdings, LLC. Transfer of shares held in dissolved trusts to the Reporting Person. Transfer of shares to Christal M.M. Mickle. Common stock that was previously held jointly by the Reporting Person and Christal M.M. Mickle, and is now held solely by Ms. Mickle. The Reporting Person is the sole manager member of Mickle Investments, LLC. Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on August 20, 2022 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. /s/ Travis C. Mickle 2021-08-24